Search for: "PROVIDENCE MUTUAL"
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20 Apr 2017, 8:57 am
Where firms have poor AML controls, the FCA will use its enforcement powers to impose business restrictions to limit the level of risk, provide deterrence messages to industry or both. [read post]
20 Apr 2017, 7:00 am
Unfortunately, in many cases, the high sales commission may provide some brokers with enough incentive to make unsuitable investment recommendations. [read post]
20 Apr 2017, 2:00 am
There are also substantial penalties for even consuming alcohol if you are underage, as well as significant consequences if you are an adult aged 21 or older and provide alcohol to underage persons. [read post]
20 Apr 2017, 2:00 am
There are also substantial penalties for even consuming alcohol if you are underage, as well as significant consequences if you are an adult aged 21 or older and provide alcohol to underage persons. [read post]
19 Apr 2017, 6:53 am
Unfortunately, in many cases, the high sales commission may provide some brokers with enough incentive to make unsuitable investment recommendations. [read post]
18 Apr 2017, 10:01 pm
We need to stay on the same page and make sure we’re communicating and collaborating and making sure we understand what our goal is and that it’s a mutual goal. [read post]
18 Apr 2017, 7:27 am
Unfortunately, in many cases, the high sales commission may provide some brokers with enough incentive to make unsuitable investment recommendations. [read post]
18 Apr 2017, 6:11 am
This study seeks to provide systematic evidence on the time-series trends in mutual funds’ investments in private firms. [read post]
17 Apr 2017, 11:48 am
The August Treaty provided that the alliance would terminate either after one year had elapsed or when a federal state was formed. [read post]
16 Apr 2017, 7:00 am
“Other assistance” and the type of military aid to be provided are also not specified. [read post]
15 Apr 2017, 7:10 am
And as part of the senior COFINA holders’ restructuring proposals, the group had included requests for a final judgment upholding the validity of their structure and other assurances regarding language purportedly providing them a statutory lien. [read post]
14 Apr 2017, 9:22 am
ICYMI: Yesterday, on Lawfare Ammar Abdulhamid provided Part II to his analysis of Trump’s Syria conundrum. [read post]
14 Apr 2017, 5:25 am
As set forth in the student code of conduct, consent to sexual activity cannot be inferred from silence and must flow from “spoken words or behavior that indicates, without doubt to either party, a mutual agreement to” proceed. [read post]
13 Apr 2017, 9:24 am
According to FINRA, The sanction was based on findings that Kuchel allegedly failed to provide complete testimony to FINRA during the course of an investigation into mutual fund transactions that occurred at his member firm. [read post]
13 Apr 2017, 7:08 am
If data is stored abroad—which is often the case—law enforcement usually have to go through lengthy and burdensome Mutual Legal Assistance processes with uncertain prospects to get data from providers. [read post]
11 Apr 2017, 3:01 pm
This course provides an introduction to the law and policy issues that touch on the responsibility of enterprises for their business activities. [read post]
11 Apr 2017, 1:42 pm
Humane treatment and effective interrogation are mutually reinforcing goals, a reality that U.S. policy and practice should fully reflect. [read post]
9 Apr 2017, 12:35 pm
The firm voluntarily provided restitution totaling approximately $325,000 to many of the customers who indicated that they had low or medium risk tolerances. [read post]
7 Apr 2017, 6:14 am
Compared to traditional investments, such as stocks, bonds and mutual funds, private placements are more complex and are better suited for sophisticated and institutional investors. [read post]
6 Apr 2017, 9:42 am
The Salient MLP Fund (the “Fund”) seeks to provide a high level of total return and emphasizes making quarterly cash distributions to shareholders. [read post]
